William Brooks has been Chief Compliance Officer of Synovus Securities since December 2022, is a control person of the firm and directly owns under 5% of it.
Synovus Securities, Inc. is a Columbus, GA firm with $8.45B under management, 12,411 clients and 184 advisers across 65 offices, as of its January 2026 filing.
William Brooks’ longest registration was 8 years at Suntrust Investment Services, Inc. (2006–2014). Before joining Synovus Securities in 2019, William Brooks was registered through Suntrust Investment Services, Inc.
- Synovus Securities, Inc.Current– present · 6 yearsAlpharetta, GA · Adviser representative · Firm CRD 14023
- Suntrust Investment Services, Inc.– · 8 yearsAtlanta, GA · Adviser representative · Firm CRD 17499
Investment adviser representative registrations
William Brooks is registered as an investment adviser representative in Georgia, since October 2019.
- GeorgiaSince 28 October 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 54 | Municipal Advisor Principal Qualification Examination | 20 August 2025 |
| Series 50 | Municipal Advisor Representative Qualification Exam | 3 July 2025 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 4 June 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 19 June 2008 |
| Series 31 | Futures Managed Funds Examination | 13 July 2007 |
| Series 66 | Uniform Combined State Law Examination | 2 August 2006 |
| Series 24 | General Securities Principal Examination | 16 March 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 November 2005 |
- Name
- Municipal Advisor Principal Qualification Examination
- Name
- Municipal Advisor Representative Qualification Exam
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- William Thomas Brooks
- CRD
- 5028846
- Firm
- Synovus Securities · CRD 14023
- Role
- Chief Compliance Officer
- Office
- 8025 WESTSIDE PARKWAY, Alpharetta, GA 30009
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does William Brooks work?
William Brooks has been Chief Compliance Officer of Synovus Securities, Inc. since December 2022, and is a control person of the firm.
Is William Brooks a financial advisor?
Yes. William Brooks has a current investment-adviser registration in Georgia, through Synovus Securities since October 2019.
How many years of experience does William Brooks have?
William Brooks has 18 years in the financial industry, since January 2008, across 2 adviser firms.
What exams has William Brooks passed?
William Brooks has passed 10 licensing exams: the Series 63, Series 24, Series 66, Series 31, Series 53, Series 28, Series 99TO, Series 52TO, Series 50 and Series 54. The earliest, the Series 63, was passed in November 2005. FINRA credited William Brooks with the SIE, which began in October 2018.
Where did William Brooks work before Synovus Securities?
Before Synovus Securities, William Brooks was registered through Suntrust Investment Services, Inc., August 2006 to November 2014.
Where is William Brooks based?
William Brooks’ registered office is in Alpharetta, GA.
Is William Brooks registered with FINRA?
Yes. William Brooks has a current broker registration, under CRD 5028846.
Source: FINRA BrokerCheck
How can I verify William Brooks’ record?
Search CRD 5028846 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish William Brooks’ full registration record.
